Office of Hearing Officers

The Office of Hearing Officers is an office of impartial adjudicators of disciplinary cases brought by FINRA’s Department of Enforcement against FINRA members.

The Office of Hearing Officers maintains strict independence from FINRA's regulatory programs and is physically separated from other FINRA departments.

Hearing officers are not involved in the investigative process. Employment protections exist for hearing officers to further ensure their independence; they may not be terminated except by the FINRA Chief Executive Officer, with a right to appeal to the Audit Committee of FINRA's Board of Governors.

View:  Orders and Decisions Chronologically  |  Orders by Topic  |  Orders by Rule
Date of Decision Proceeding No. Title Type Order No.sort descending
Feb 2, 2018 2015046759201 APPEALED: Todd B. Wyche Disciplinary Decision
Apr 29, 2014 2011028061001 Hearing Panel Decision in Department of Enforcement v. Keilen Dimone Wiley Disciplinary Decision
Aug 28, 2000 C02990022 Hearing Panel Decision in Department of Enforcement v. Joseph Gaetano Gerace Disciplinary Decision
Dec 28, 2001 CMS000015 Hearing Panel Decision in Department of Enforcement v. Amr "Tony" Elgindy and Key West Securities, Inc. Disciplinary Decision
Sep 28, 2012 2009019837302 Hearing Panel Decision in Department of Enforcement v. Blair C. Mielke, Frederick W. Shultz, Thomas J. Gorter and Michael L. Trier Disciplinary Decision
Jan 26, 2011 2006004122402 Extended Hearing Panel Decision in Department of Enforcement v. Hedge Fund Capital Partners LLC and Howard G. Jahre Disciplinary Decision
Jun 18, 1999 CAF970011 Hearing Panel Decision in Department of Enforcement v. Monroe Parker Securities, Inc. Disciplinary Decision
Jul 10, 2015 2009017440201 APPEALED: Louis Ottimo Disciplinary Decision
Jul 11, 2016 FPI160004 Fairbridge Capital Markets Expedited Decision
Apr 15, 2013 2011030192201 Hearing Panel Decision in Department of Enforcement v. Alfred P. Reeves III Disciplinary Decision
Dec 30, 2011 2005002244102 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Jan 30, 2003 C8A020014 Hearing Panel Decision in Department of Enforcement v. Brad A. Roethlisberger Disciplinary Decision
Feb 10, 2006 C07040042 Hearing Panel Decision in Department of Enforcement vs. John D. Kaweske Disciplinary Decision
Feb 28, 2007 2005001514501 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Apr 14, 2010 2007009403801 Hearing Panel Decision in Department of Enforcement v. Stephen W. Wilson Disciplinary Decision
Jan 14, 2005 C10040025 Hearing Panel Decision in Department of Enforcement vs. John Brigandi Disciplinary Decision
Feb 9, 2017 2013035344201 Red River Securities, LLC and Brian Keith Hardwick Disciplinary Decision
Apr 23, 2014 2011027993301 Hearing Panel Decision in Department of Enforcement v. Michael Earl McCune Disciplinary Decision
Mar 21, 2017 2013035865303 APPEALED: Spencer Edwards, Inc. and Gordon Dihle Disciplinary Decision
Apr 25, 2008 CAF040079 Hearing Panel Decision in Department of Enforcement v. Respondent Redacted Decision
Feb 6, 2018 DFC170004 APPEALED: Dakota Securities International, Inc. Expedited Decision
May 16, 2014 2011028502101 Hearing Panel Decision in Department of Enforcement v. North Woodward Financial Corp. and Douglas A. Troszak Disciplinary Decision
Jul 28, 2000 C8A980097 Hearing Panel Decision in Department of Enforcement v. Adam Galas, David, H. Shapiro, John J. Flynn, Protective Group Securities Corporation, and Michael F. Flannigan Disciplinary Decision
Feb 15, 2002 C01010003 Hearing Panel Decision as to Respondent Redacted Decision
Jan 30, 2001 C07000023 Hearing Panel Decision as to Respondent Redacted Decision

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